You will report to the EMEA Head of Securities Services Compliance and assist in the compliance coverage of the Securities Services businesses for the EMEA regional team.
Securities Services is comprised of a number of products and services which include global and direct custody, fund accounting, transfer agency, middle office, depositary services, foreign exchange, liquidity management, agency securities financing and depositary receipts.
Job responsibilities
- Provision of advice on a wide range of regulatory and firm policy topics impacting the EMEA Securities Services business, including conflicts management, information barriers, data privacy and bank secrecy. The role will initially focus on the Trading Services business with scope to expand coverage once established in the role
- Assistance with implementation of new regulatory initiatives impacting the relevant products
- Review and complete the risk assessments for the relevant products
- Review of new business initiatives and assessment of their regulatory impact on the relevant products
- Assistance in the development and delivery of compliance training
- Undertake compliance monitoring activities, including raising and communicating identified issues
- Participate in management and governance meetings (where appropriate) and work closely with the broader regional and global compliance team ensuring consistency across the teams with respect to the Securities Services compliance program and when issues are being addressed